Vault-13

FIRST TR EXCHANGE-TRADED FD SDVY

SMID RISNG ETF · ETP · CUSIP 33741X102

404 institutional holders +64 vs Q2 2024
133,582,133133.6m shares reported held*
$4.9bnreported value*
80 new 221 added 71 reduced 18 sold out net bought ≈ $833.8m (+22.8m shares)

* Summed across managers. Shares that two managers' reports both contain – a subsidiary's holdings that its parent's report includes too, or a sub-adviser's in its client's – are counted once ($848.9k this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $36.39. Options: 2 managers hold calls ($243.7k notional), 1 hold puts ($0).

Trends to Q3 2024

Institutional holders

Managers reporting a position, each quarter

0200400600Q3 22: 146Q4 22: 154Q1 23: 164Q2 23: 168Q3 23: 179Q4 23: 237Q1 24: 306Q2 24: 340Q3 24: 404404Q3 22Q1 23Q3 23Q1 24Q3 24
Numbers
QuarterHolders
Q3 2022146
Q4 2022154
Q1 2023164
Q2 2023168
Q3 2023179
Q4 2023237
Q1 2024306
Q2 2024340
Q3 2024404

Buyers vs sellers

Managers adding to or starting a position, vs cutting or selling out

Bought or addedCut or sold out
4000400Q4 22: 76 bought or addedQ4 22: 67 cut or sold outQ1 23: 104 bought or addedQ1 23: 59 cut or sold outQ1 23Q2 23: 98 bought or addedQ2 23: 77 cut or sold outQ3 23: 118 bought or addedQ3 23: 52 cut or sold outQ3 23Q4 23: 161 bought or addedQ4 23: 57 cut or sold outQ1 24: 246 bought or addedQ1 24: 58 cut or sold outQ1 24Q2 24: 242 bought or addedQ2 24: 91 cut or sold outQ3 24: 301 bought or addedQ3 24: 89 cut or sold outQ3 24
Numbers
QuarterBought or addedCut or sold out
Q4 20227667
Q1 202310459
Q2 20239877
Q3 202311852
Q4 202316157
Q1 202424658
Q2 202424291
Q3 202430189

Calls vs puts

Options held, notional value, last 4 quarters. P/C = puts ÷ calls

CallsPuts
$0$100k$200k$300kQ4 23 calls: $186.8kQ4 23 puts: $0Q4 23P/C 0.00Q1 24 calls: $139.3kQ1 24 puts: $0Q1 24P/C 0.00Q2 24 calls: $0Q2 24 puts: $36.7kQ2 24P/C —Q3 24 calls: $243.7kQ3 24 puts: $0Q3 24P/C 0.00
Numbers
QuarterCallsPutsP/C
Q4 2023$186.8k$00.00
Q1 2024$139.3k$00.00
Q2 2024$0$36.7k—
Q3 2024$243.7k$00.00

Biggest buyers

LPL Financial LLC Added +2,628,717+2.6m
MORGAN STANLEY Added +2,496,258+2.5m
PARK NATIONAL CORP /OH/ Added +1,885,435+1.9m
WELLS FARGO & COMPANY/MN Added +1,571,858+1.6m
UBS Group AG Added +1,360,184+1.4m
ROYAL BANK OF CANADA Added +1,291,745+1.3m
Raymond James Financial Services Advisors, Inc. Added +964,056+964.1k
BANK OF AMERICA CORP /DE/ Added +876,068+876.1k
Cetera Investment Advisers Added +700,531+700.5k
RAYMOND JAMES & ASSOCIATES Added +669,172+669.2k

Biggest sellers

GUNN & Co INVESTMENT MANAGEMENT, INC. Reduced -861,792-861.8k
WINTRUST INVESTMENTS LLC Reduced -160,979-161.0k
Elevated Capital Advisors, LLC Reduced -116,065-116.1k
Concorde Asset Management, LLC Sold out -104,563-104.6k
Strategic Financial Concepts, LLC Sold out -82,415-82.4k
KESTRA PRIVATE WEALTH SERVICES, LLC Reduced -81,771-81.8k
Quantum Portfolio Management LLC Sold out -77,467-77.5k
RENAISSANCE TECHNOLOGIES LLC Sold out -67,000-67.0k
Atlas Wealth LLC Reduced -42,306-42.3k
TrueWealth Advisors, LLC Reduced -41,341-41.3k

Biggest calls

CITADEL ADVISORS LLC New $243.7k6.7k shares
CONCOURSE FINANCIAL GROUP SECURITIES, INC. Unchanged $00 shares

Biggest puts

CONCOURSE FINANCIAL GROUP SECURITIES, INC. Unchanged $00 shares

Options at notional value: the value of the shares the contracts control, as filers report them, not what the options cost. Not included in the holders, shares or buying above.

Holders, Q3 2024

#ManagerLocationShares Value% of their portfolioChangeShares change
1 LPL Financial LLC 0.29% of their portfolio FORT MILL, SC 17,987,11418.0m $654.4m $654.4m 0.29% Added +2.6m +2,628,717
2 MORGAN STANLEY 0.04% of their portfolio NEW YORK, NY 14,953,64315.0m $544.0m $544.0m 0.04% Added +2.5m +2,496,258
3 WELLS FARGO & COMPANY/MN 0.09% of their portfolio SAN FRANCISCO, CA 10,559,59710.6m $384.2m $384.2m 0.09% Added +1.6m +1,571,858
4 UBS Group AG 0.06% of their portfolio ZURICH, V8 6,022,6026.0m $219.1m $219.1m 0.06% Added +1.4m +1,360,184
5 BANK OF AMERICA CORP /DE/ 0.02% of their portfolio CHARLOTTE, NC 5,771,7305.8m $210.0m $210.0m 0.02% Added +876.1k +876,068
6 ROYAL BANK OF CANADA 0.04% of their portfolio TORONTO, A6 4,357,1854.4m $158.5m $158.5m 0.04% Added +1.3m +1,291,745
7 RAYMOND JAMES & ASSOCIATES 0.09% of their portfolio ST PETERSBURG, FL 4,234,8564.2m $154.1m $154.1m 0.09% Added +669.2k +669,172
8 Raymond James Financial Services Advisors, Inc. 0.21% of their portfolio ST. PETERSBURG, FL 4,230,3994.2m $153.9m $153.9m 0.21% Added +964.1k +964,056
9 Capital Investment Advisors, LLC 2.43% of their portfolio ATLANTA, GA 3,242,6783.2m $118.0m $118.0m 2.43% Added +234.9k +234,870
10 Cetera Investment Advisers 0.25% of their portfolio SCHAUMBURG, IL 3,121,9433.1m $113.6m $113.6m 0.25% Added +700.5k +700,531
11 LVZ, Inc. 12.61% of their portfolio Holland, MI 2,709,1502.7m $98.6m $98.6m 12.61% Reduced -7.1k -7,074
12 ENVESTNET ASSET MANAGEMENT INC 0.03% of their portfolio Berwyn, PA 2,544,5122.5m $92.6m $92.6m 0.03% Added +522.6k +522,644
13 PARK NATIONAL CORP /OH/ 3.22% of their portfolio NEWARK, OH 2,531,0352.5m $92.1m $92.1m 3.22% Added +1.9m +1,885,435
14 STIFEL FINANCIAL CORP 0.09% of their portfolio ST. LOUIS, MO 2,485,2512.5m $90.4m $90.4m 0.09% Added +347.8k +347,799
15 TRUIST FINANCIAL CORP 0.14% of their portfolio CHARLOTTE, NC 2,439,2882.4m $88.7m $88.7m 0.14% Reduced -17.1k -17,142
16 OSAIC HOLDINGS, INC. 0.18% of their portfolio SCOTTSDALE, AZ 2,178,0402.2m $79.3m $79.3m 0.18% Added +229.4k +229,434
17 COMMONWEALTH EQUITY SERVICES, LLC 0.12% of their portfolio WALTHAM, MA 2,092,0882.1m $76.1m $76.1m 0.12% Added +158.2k +158,171
18 Cambridge Investment Research Advisors, Inc. 0.22% of their portfolio FAIRFIELD, IA 1,810,7421.8m $65.9m $65.9m 0.22% Added +202.5k +202,497
19 HighTower Advisors, LLC 0.07% of their portfolio CHICAGO, IL 1,339,0741.3m $48.7m $48.7m 0.07% Added +319.2k +319,226
20 MML INVESTORS SERVICES, LLC 0.15% of their portfolio SPRINGFIELD, MA 1,130,3061.1m $41.1m $41.1m 0.15% Added +120.7k +120,714
21 Baird Financial Group, Inc. 0.08% of their portfolio MILWAUKEE, WI 1,104,5881.1m $40.2m $40.2m 0.08% Added +299.9k +299,892
22 BLAIR WILLIAM & CO/IL 0.12% of their portfolio CHICAGO, IL 1,094,0581.1m $39.8m $39.8m 0.12% Added +68.8k +68,793
23 Private Advisor Group, LLC 0.23% of their portfolio MORRISTOWN, NJ 1,033,9841.0m $37.6m $37.6m 0.23% Added +99.4k +99,423
24 Kestra Advisory Services, LLC 0.19% of their portfolio AUSTIN, TX 965,710965.7k $35.1m $35.1m 0.19% Added +92.6k +92,568
25 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.03% of their portfolio MILWAUKEE, WI 963,965964.0k $35.1m $35.1m 0.03% Added +164.1k +164,058
26 SMITH CHAS P & ASSOCIATES PA CPAS 1.96% of their portfolio LAKELAND, FL 956,344956.3k $34.8m $34.8m 1.96% Reduced -15.2k -15,173
27 Steward Partners Investment Advisory, LLC 0.30% of their portfolio STAMFORD, CT 905,678905.7k $32.9m $32.9m 0.30% Added +287.7k +287,747
28 Horizon Advisory Services, Inc. 12.79% of their portfolio WEST HENRIETTA, NY 770,788770.8k $28.0m $28.0m 12.79% Reduced -11.5k -11,456
29 StoneX Group Inc. 1.78% of their portfolio NEW YORK, NY 671,089671.1k $24.4m $24.4m 1.78% Added +70.0k +69,956
30 Prospera Financial Services Inc 0.62% of their portfolio Dallas, TX 661,829661.8k $24.1m $24.1m 0.62% Added +114.7k +114,683
31 AVANTAX ADVISORY SERVICES, INC. 0.14% of their portfolio DALLAS, TX 576,862576.9k $21.0m $21.0m 0.14% Added +42.5k +42,489
32 SAGE PRIVATE WEALTH GROUP, LLC 16.48% of their portfolio OAKBROOK TERRACE, IL 575,261575.3k $20.9m $20.9m 16.48% New
33 WEALTH ENHANCEMENT ADVISORY SERVICES, LLC 0.04% of their portfolio PLYMOUTH, MN 566,668566.7k $20.6m $20.6m 0.04% Added +33.0k +32,983
34 Integrated Wealth Concepts LLC 0.25% of their portfolio WALTHAM, MA 558,525558.5k $20.3m $20.3m 0.25% Added +5.4k +5,389
35 Western Wealth Management, LLC 1.10% of their portfolio GOLDEN, CO 530,133530.1k $19.3m $19.3m 1.10% Added +164.8k +164,816
36 HARBOUR INVESTMENTS, INC. 0.55% of their portfolio MADISON, WI 499,106499.1k $18.2m $18.2m 0.55% Added +153.2k +153,196
37 Janney Montgomery Scott LLC 0.05% of their portfolio PHILADELPHIA, PA 485,885485.9k $17.7m $17.7m 0.05% Added +153.0k +152,968
38 Good Life Advisors, LLC 1.07% of their portfolio READING, PA 478,097478.1k $17.4m $17.4m 1.07% Added +9.9k +9,914
39 D.A. DAVIDSON & CO. 0.14% of their portfolio GREAT FALLS, MT 462,501462.5k $16.8m $16.8m 0.14% Added +46.9k +46,925
40 Atria Investments, Inc 0.20% of their portfolio Charlotte, NC 448,080448.1k $16.3m $16.3m 0.20% Added +18.1k +18,055
41 Sigma Planning Corp 0.47% of their portfolio ANN ARBOR, MI 424,764424.8k $15.5m $15.5m 0.47% Added +8.5k +8,542
42 Rockefeller Capital Management L.P. 0.04% of their portfolio NEW YORK, NY 413,860413.9k $15.1m $15.1m 0.04% Added +72.5k +72,462
43 KESTRA PRIVATE WEALTH SERVICES, LLC 0.27% of their portfolio AUSTIN, TX 410,378410.4k $14.9m $14.9m 0.27% Reduced -81.8k -81,771
44 Advantage Trust Co 9.99% of their portfolio SALINA, KS 404,286404.3k $14.7m $14.7m 9.99% Reduced -4.0k -4,050
45 Sanctuary Advisors, LLC 0.10% of their portfolio INDIANAPOLIS, IN 392,716392.7k $15.6m $15.6m 0.10% Added +114.0k +114,045
46 GDS Wealth Management 1.37% of their portfolio FLOWER MOUND, TX 386,308386.3k $14.1m $14.1m 1.37% Added +44.8k +44,802
47 Pine Valley Investments Ltd Liability Co 0.96% of their portfolio MARLTON, NJ 385,241385.2k $14.0m $14.0m 0.96% Added +1.3k +1,271
48 Wagner Wealth Management, LLC 3.66% of their portfolio GREENVILLE, SC 372,895372.9k $13.6m $13.6m 3.66% Added +27.0k +26,994
49 NewEdge Advisors, LLC 0.09% of their portfolio NEW ORLEANS, LA 371,566371.6k $13.5m $13.5m 0.09% Added +216.6k +216,626
50 Visionary Wealth Advisors 0.82% of their portfolio O'FALLON, IL 368,564368.6k $13.4m $13.4m 0.82% Added +59.4k +59,414
51 Sanchez Wealth Management Group 3.90% of their portfolio JACKSONVILLE, FL 351,750351.8k $12.8m $12.8m 3.90% Reduced -32.2k -32,192
52 Mariner, LLC 0.02% of their portfolio Overland Park, KS 344,621344.6k $12.5m $12.5m 0.02% Added +142.4k +142,360
53 NorthCoast Asset Management LLC 0.09% of their portfolio STAMFORD, CT 340,793340.8k $12.4m $12.4m 0.09% New
54 Presidio Capital Management, LLC 7.85% of their portfolio SAN DIEGO, CA 337,825337.8k $12.3m $12.3m 7.85% Added +47.0k +46,999
55 INDEPENDENT FINANCIAL GROUP, LLC 0.43% of their portfolio SAN DIEGO, CA 321,520321.5k $11.7m $11.7m 0.43% Added +20.2k +20,199
56 First Heartland Consultants, Inc. 1.25% of their portfolio LAKE ST. LOUIS, MO 320,792320.8k $11.7m $11.7m 1.25% Added +80.0k +79,987
57 Ergawealth Advisors, Inc. 5.64% of their portfolio OAK BROOK, IL 312,527312.5k $11.4m $11.4m 5.64% Added +17.4k +17,394
58 Ascentis Independent Advisors 1.70% of their portfolio DALLAS, TX 299,327299.3k $10.9m $10.9m 1.70% Added +158.5k +158,531
59 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 291,006291.0k $10.6m $10.6m 0.00% Added +44.3k +44,316
60 TrueWealth Advisors, LLC 3.12% of their portfolio BIRMINGHAM, AL 256,728256.7k $9.3m $9.3m 3.12% Reduced -41.3k -41,341
61 Equitable Holdings, Inc. 0.09% of their portfolio NEW YORK, NY 253,183253.2k $9.2m $9.2m 0.09% Added +85.5k +85,494
62 Aft, Forsyth & Sober, LLC 3.00% of their portfolio VALRICO, FL 250,600250.6k $9.1m $9.1m 3.00% Added +300 +300
63 Mach-1 Financial Group, LLC 5.50% of their portfolio Rogers, AR 246,436246.4k $9.0m $9.0m 5.50% Added +15.8k +15,829
64 IHT Wealth Management, LLC 0.24% of their portfolio Chicago, IL 237,373237.4k $8.6m $8.6m 0.24% Added +43.2k +43,168
65 TAP Consulting, LLC 1.64% of their portfolio KIRKWOOD, MO 229,070229.1k $8.3m $8.3m 1.64% Added +7.8k +7,835
66 Crumly & Associates Inc. 2.28% of their portfolio SPRINGFIELD, IL 226,319226.3k $8.2m $8.2m 2.28% Added +27.3k +27,306
67 Hobart Private Capital, LLC 2.08% of their portfolio CHARLOTTE, NC 223,458223.5k $8.1m $8.1m 2.08% Added +9.7k +9,684
68 DAGCO, INC. 3.26% of their portfolio WESTLAKE, OH 218,390218.4k $7.9m $7.9m 3.26% New
69 Capital Investment Counsel, LLC 1.33% of their portfolio DENVER, CO 211,513211.5k $7.7m $7.7m 1.33% New
70 J.W. COLE ADVISORS, INC. 0.31% of their portfolio TAMPA, FL 204,658204.7k $7.4m $7.4m 0.31% Added +19.3k +19,324
71 RFG Advisory, LLC 0.23% of their portfolio BIRMINGHAM, AL 204,513204.5k $7.4m $7.4m 0.23% Added +3.8k +3,788
72 Astor Investment Management LLC 3.37% of their portfolio CHICAGO, IL 193,627193.6k $7.0m $7.0m 3.37% Reduced -20.1k -20,143
73 Southland Equity Partners LLC 1.71% of their portfolio WILDWOOD, MO 193,007193.0k $7.0m $7.0m 1.71% Added +142.1k +142,109
74 First Horizon Advisors, Inc. 0.19% of their portfolio MEMPHIS, TN 192,674192.7k $7.0m $7.0m 0.19% Added +30.0k +30,008
75 N.E.W. Advisory Services LLC 0.67% of their portfolio DE PERE, WI 188,079188.1k $6.8m $6.8m 0.67% Added +46.9k +46,863
76 Triumph Capital Management 2.43% of their portfolio DENVER, CO 187,209187.2k $6.8m $6.8m 2.43% Added +34.1k +34,056
77 AIFG Consultants Ltd. 5.17% of their portfolio HALFMOON, NY 186,958187.0k $6.8m $6.8m 5.17% Added +20.8k +20,828
78 Gallagher Fiduciary Advisors, LLC 1.37% of their portfolio ROLLING MEADOWS, IL 186,595186.6k $6.8m $6.8m 1.37% Added +4.4k +4,387
79 Aprio Wealth Management, LLC 1.08% of their portfolio ATLANTA, GA 185,483185.5k $6.7m $6.7m 1.08% Added +3.4k +3,416
80 PSI Advisors, LLC 1.96% of their portfolio TAMPA, FL 183,520183.5k $6.7m $6.7m 1.96% Added +13.3k +13,282
81 ARVEST INVESTMENTS, INC. 1.00% of their portfolio LOWELL, AR 182,774182.8k $6.6m $6.6m 1.00% Added +17.6k +17,584
82 San Luis Wealth Advisors LLC 1.36% of their portfolio SAN LUIS OBISPO, CA 180,349180.3k $6.6m $6.6m 1.36% Added +125.6k +125,606
83 DAYMARK WEALTH PARTNERS, LLC 0.28% of their portfolio CINCINNATI, OH 179,856179.9k $6.5m $6.5m 0.28% Added +16.8k +16,798
84 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.39% of their portfolio BIRMINGHAM, AL 179,668179.7k $6.5m $6.5m 0.39% Reduced -9.5k -9,504
85 BENJAMIN EDWARDS INC 0.09% of their portfolio Clayton, MO 179,022179.0k $6.5m $6.5m 0.09% Added +178.1k +178,086
86 Foundations Investment Advisors, LLC 0.13% of their portfolio PHOENIX, AZ 176,088176.1k $6.4m $6.4m 0.13% Added +109.9k +109,942
87 Certified Advisory Corp 0.69% of their portfolio ALTAMONTE SPRINGS, FL 172,409172.4k $6.3m $6.3m 0.69% New
88 Focus Financial Network, Inc. 0.24% of their portfolio MINNEAPOLIS, MN 158,894158.9k $5.8m $5.8m 0.24% New
89 Stratos Wealth Partners, LTD. 0.08% of their portfolio BEACHWOOD, OH 155,442155.4k $5.7m $5.7m 0.08% Reduced -6.5k -6,521
90 RiverTree Advisors, LLC 3.82% of their portfolio WINTER PARK, FL 154,674154.7k $5.6m $5.6m 3.82% Reduced -12.5k -12,531
91 GOLDMAN SACHS GROUP INC 0.00% of their portfolio NEW YORK, NY 153,185153.2k $5.6m $5.6m 0.00% Added +2.8k +2,824
92 Peak Planning Group, LLC 2.31% of their portfolio CENTENNIAL, CO 144,625144.6k $5.3m $5.3m 2.31% Added +126.0k +126,003
93 Wealthcare Advisory Partners LLC 0.15% of their portfolio WEST CHESTER, PA 143,842143.8k $5.2m $5.2m 0.15% Added +5.6k +5,561
94 Arkadios Wealth Advisors 0.28% of their portfolio ATLANTA, GA 137,194137.2k $5.0m $5.0m 0.28% Added +66.8k +66,805
95 Atria Wealth Solutions, Inc. 0.05% of their portfolio NEW YORK, NY 134,562134.6k $4.9m $4.9m 0.05% Added +39.7k +39,740
96 Maia Wealth LLC 1.20% of their portfolio DENVER, CO 133,991134.0k $4.9m $4.9m 1.20% Added +51.6k +51,608
97 Naviter Wealth, LLC 0.67% of their portfolio LITTLE ROCK, AR 133,117133.1k $4.8m $4.8m 0.67% Added +27.3k +27,252
98 IFG Advisory, LLC 0.31% of their portfolio ATLANTA, GA 132,623132.6k $4.8m $4.8m 0.31% Added +73.8k +73,806
99 Owen LaRue, LLC 2.53% of their portfolio ELIZABETHTOWN, KY 130,762130.8k $4.8m $4.8m 2.53% Added +20.5k +20,533
100 Financial Advocates Investment Management 0.27% of their portfolio OLYMPIA, WA 130,486130.5k $4.7m $4.7m 0.27% Added +18.5k +18,503